EDWARD GELB

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/27/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009019466601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edward Gelb, Respondent General Securities Representative CRD No. 1967796 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edward Gelb ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is
Reference 2009019466601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1967796

Other names1

Also known as1

EDWARD PHILIP GELB

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